Simon Sylvester Bennie

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • CHILTERN FINANCIAL SERVICES LTD

    FRN 605767

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 10 Aug 2022)
    • [FCA CF] Functions requiring qualifications (since 22 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Significant management (22 Oct 2020 to 15 Aug 2022)
    • Responsible for Insurance Mediation (1 Nov 2013 to 30 Sep 2018)
    • CF1 Director (1 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2013 to 8 Dec 2019)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (7 Jun 2013 to 15 Nov 2013)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (17 Jan 2013 to 15 Nov 2013)
  • Charles Derby Wealth Management (Home Counties) LLP (no longer approved here)

    FRN 569523

    • Employed By (17 Jan 2013 to 8 Dec 2019)
  • Charles Derby (Home Counties) LLP (no longer approved here)

    FRN 451134

    • Employed By (3 Sep 2010 to 28 Jan 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (18 May 2010 to 28 Jan 2013)
    • CF1 Director (AR) (18 May 2010 to 8 Sep 2010)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (17 Aug 2007 to 10 Sep 2007)
  • TenetLime Limited (no longer approved here)

    FRN 311266

    • CF1 Director (AR) (29 Nov 2006 to 10 Sep 2007)
  • Chiltern Financial Services Ltd (no longer approved here)

    FRN 411936

    • Employed By (31 Oct 2004 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

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